- February 22, 2023
- Landolt Securities
Anthony (Tony) Liddle (CRD#: 5478479) is a previously registered Broker and previously registered Investment Adviser.
He entered the securities industry in 2008 and previously worked for Landolt Securities, Inc.; Western International Securities, Inc.; and Eliason Financial Group, LLC.
Current And Past Allegations Of Conduct Leading To Investment Loss
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2022, a customer dispute was filed against Anthony Liddle. The allegation states, “[REDACTED] claims they gave RR Liddle 110,000 and received a promissory note in return.” The customer dispute is pending, and damages of $110,000 are sought.
In addition, Anthony Liddle has been the subject of eight other customer complaints and a FINRA sanction, including the following:
- July 2022 — “Allege RR stole assets.” The customer dispute is pending, and damages of $125,000 are requested.
- July 2022 — “Theft.” The customer dispute is pending. Damages of $1.75M are requested.
- July 2022 — “[REDACTED] claims they gave RR Liddle 125,000 and received a promissory note in return, [REDACTED] claims they have RR Liddle 373,000 and received a promissory note in return.” The customer dispute is pending, and damages of $498,000 are requested.
- July 2022 — “Client may have had funds stolen by representative.” The customer dispute is pending.
- June 2022 — “Without admitting or denying the findings, Liddle consented to the sanction and to the entry of findings that he refused to produce information and documents and to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations that Liddle borrowed more than $1.8 million from at least 13 of his customers while he was associated with two member firms.” Anthony Liddle was permanently barred from registration in all capacities by FINRA beginning June 14, 2022, and extending indefinitely. For a copy of the FINRA sanction, click here.
- May 2022 — “Tony accepted funds intended to invest with GWG and deposited into Prosper Wealth Management account and was in the process of returning the funds.” Anthony Liddle was permitted to resign from Landolt Securities, Inc.
- May 2022 — The Wisconsin Department of Financial Institutions opened an investigation as a result of a complaint letter submitted.
- May 2022 — “Liddle violated Wisconsin securities laws by engaging in dishonest or unethical practices in the securities business, borrowing money from clients in the amount of $1.8 million, and omitting to state material facts necessary in order to make the statements made not misleading including the failure to inform investors that GWG Holdings had suspended L bond sales and that he was not authorized to sell them.” The state of Wisconsin issued a cease and desist barring Anthony Liddle from registration in all capacities, indefinitely, beginning June 9, 2022.
For a copy of Anthony Liddle’s FINRA BrokerCheck, click here.
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